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DATE ADDED: Sun 09/02/2020

Global Markets And Charles River Development Compliance Manager, Assistant Vice President

London, UK


JOB TYPE: Permanent, FullTime

SALARY: Competitive

The Compliance Manager position will be responsible for the identification, analysis, measurement, reporting, and management of compliance risk at both the corporate level and in partnership with the business units in support of their activities. In this role, you will be primarily acting as a trusted influential advisor responsible for the development, application and execution of the compliance program for Global Markets and Charles River Development. In addition, given that the position is part of the broader EMEA Global Markets Compliance team, you will have the opportunity to support the team and have visibility across all businesses transacted in EMEA by Global Markets.

As a compliance leader, you will have the opportunity to assist with developing and tailoring the oversight program to focus on critical compliance risk, business unit strategy, framework, processes and solicit engagement cross the three lines of defense for both Global Markets and Charles River Development.

Key Duties and Responsibilities:
  • Provide compliance advice to employees working in Charles River Development ("CRD") entities or supporting CRD integration efforts across Global Exchange and Global Markets in EMEA
  • Assist with the development, maintenance and execution of the compliance program, including participation in periodic risk assessments, liaising/providing advice to the compliance risk
  • Assist in assessing the impact of new or changes to laws and regulations applicable to CRD and Global Markets and support the business in development of action plans, procedures, and controls
  • Prepare business for and assist with regulatory and third party examinations
  • Assist with the compliance component of internal or external audits and/or regulatory examinations
  • Participate in business and compliance meetings/calls and contribute to the preparation of management reports
  • Assist with the review and update of compliance policies and procedures
  • Handle compliance-related queries from business colleagues and clients
  • Support the review of new business initiatives, products and service
  • Participate in global/regional Compliance and/or GM/CRD projects (as required)
  • Maintain and continuously develop knowledge around core GM/CRD products, the financial marketplace, and competing technology


  • Bachelor's degree, Masters or other advanced degree preferred
  • Minimum 5-7 years in financial services with experience in compliance or risk
  • Have a strong understanding of policies, procedures and controls
  • Excellent interpersonal, organizational, communication and team-working skills
  • Demonstrated ability to work effectively with outside parties at all organizational levels
  • Strong analytical skills, excellent oral and written communication skills
  • Attention to detail, project management and organizational skills
  • Aptitude to work both independently and collaboratively, manage multiple simultaneous tasks in a high-pressure, deadline-driven environment
  • Ability to make independent decisions, develop creative solutions to problems and manage implementation through to acceptance
  • Assume ownership for the delivery of projects while also operating successfully in a cross-functional team environment